Georgia Mason

Head of Compliance – SMF 16Location: London, UK – Hybrid WorkingRole OverviewTo lead and manage compliance across this International Retail Bank, ensuring alignment with strategic objectives and full adherence to regulatory and statutory obligations. This includes fulfilling the SMF16 (Compliance Oversight) role and promoting a strong compliance culture throughout the organisation.Key ResponsibilitiesOversee and implement the Bank’s Compliance Framework to meet all regulatory requirements.Ensure adherence to the Banking: Conduct of Business Sourcebook and UK Corporate Governance Code (as applicable).Provide compliance oversight and guidance to senior management, keeping them informed of regulatory developments.Monitor legal and regulatory compliance via a robust, risk-based monitoring plan.Act as a key liaison with regulators and manage regulatory reporting.Fulfil statutory duties of Head of Compliance, including the Data Protection Officer role where required.Lead compliance training, maintain key compliance registers, and support internal staff in understanding regulatory obligations.Ensure the Bank's Complaints Procedures are followed and reported correctly.Manage the Compliance function and support broader business integrity and customer trust.Experience and KnowledgeMinimum 10 years of experience in areas of compliance holding SMF16Strong knowledge of UK regulatory requirements and financial services compliance.Familiar with banking products, services, and procedures.Adheres to the ethical standards of behaviour and code of conduct issued by the FCA under the Senior Managers Regime.

Job Title: Complaints SpecialistLocation: Hybrid in Rochester or remote in united kingdomThis is a great opportunity to join a financial planning firm within the Compliance Department, reporting directly to the Compliance Director. In this role, you will investigate and resolve pension advice and service-related complaints with accuracy and efficiency, while managing all aspects of the organisation’s complaints policies, procedures, and processes.Key ResponsibilitiesComplaint Management: Handle end-to-end complaint processes from initial acknowledgment through resolution, including redress calculations and escalations to the Financial Ombudsman Service (FOS).Root Cause Analysis: Conduct root cause analysis for complaints, escalating issues and providing actionable solutions to improve processes.Professional Communication: Liaise with the FOS, Professional Indemnity insurers, and third-party outsourcers, coordinating as needed for Defined Benefit (DB) redress calculations.Data and Reporting: Prepare data and management information (MI) reports for internal committees and regulatory reporting.Skills RequirementsQualifications: DipFA Level 4 required (AF7 beneficial).Experience: At least 3 years in a similar complaints role in wealth management or financial planning, with pension advice expertise.Complaint Handling Expertise: Experience with redress calculations, FOS escalations, root cause analysis, MI production, and regulatory reporting.

Job Title: Complaints SpecialistLocation: Hybrid in Rochester or remote in united kingdomThis is a great opportunity to join a financial planning firm within the Compliance Department, reporting directly to the Compliance Director. In this role, you will investigate and resolve pension advice and service-related complaints with accuracy and efficiency, while managing all aspects of the organisation’s complaints policies, procedures, and processes.Key ResponsibilitiesComplaint Management: Handle end-to-end complaint processes from initial acknowledgment through resolution, including redress calculations and escalations to the Financial Ombudsman Service (FOS).Root Cause Analysis: Conduct root cause analysis for complaints, escalating issues and providing actionable solutions to improve processes.Professional Communication: Liaise with the FOS, Professional Indemnity insurers, and third-party outsourcers, coordinating as needed for Defined Benefit (DB) redress calculations.Data and Reporting: Prepare data and management information (MI) reports for internal committees and regulatory reporting.Skills RequirementsQualifications: DipFA Level 4 required (AF7 beneficial).Experience: At least 3 years in a similar complaints role in wealth management or financial planning, with pension advice expertise.Complaint Handling Expertise: Experience with redress calculations, FOS escalations, root cause analysis, MI production, and regulatory reporting.

Senior Compliance Associate (wealth or investment management)Location: London – HybridA leading global provider of asset management and investment technology solutions is seeking an experienced Senior Compliance Associate will support the business by providing regulatory advice, reviewing communications, monitoring activities, and helping maintain compliance with FCA and other applicable regulations.Key Responsibilities:Regulatory Advice: Provide day-to-day compliance support and guidance on new regulatory developments.Monitoring: Conduct and document compliance monitoring reviews and support implementation of recommendations.Policy & Training: Assist with drafting compliance policies and delivering training.Marketing Review: Review and approve financial promotions and client communications.Complaints & Breaches: Support complaint handling and breach logging, ensuring records are accurate and complete.Skills & Knowledge:4+ years' regulatory compliance experience in financial services (Ideally worked in wealth or investment management)Strong knowledge of FCA regulations (CASS, SMCR, consumer duty, market abuse, trade surveillance)

Job Title: Compliance SupervisorLocation: HorshamOverview:An established financial services network is seeking a Compliance Supervisor to support regulatory oversight, promote a strong compliance culture, and help ensure firms deliver good consumer outcomes. The role involves audit work, file reviews, technical support, and regulatory guidance.Responsibilities:Conduct risk-based compliance auditsReview client files for suitability and regulatory adherenceApprove financial promotions and support firms with advertising standardsProvide compliance and technical support to advisersHandle complaints fairly and assist with root cause analysisConduct due diligence on providers and assist with regulatory projectsAct as a key contact for field staff and advisersRequirements:Strong knowledge of FCA rules (COBS, SUP, DISP)Experience in compliance monitoring and adviser supportCompliance qualificationClear communication, strong judgment, and a flexible approachidealCertificate in Financial Planning (CII or equivalent), diploma preferred or in progressFinancial Promotions

Job Title: Compliance Firm & Adviser Supervisor Location: Remote working (20% site visits)Opportunity to work for a leading UK financial advice network, committed to delivering high-quality support to advisers and ensuring compliance with FCA regulations.You will support the supervision of Appointed Representative (AR) firms, ensuring compliance with company policies, FCA regulations, and high professional standards. The role involves regular travel and some visits to Head Office. Key ResponsibilitiesMonitor AR firms’ compliance with policies and FCA regulations.Assess risk and competence of individual representatives.Provide training and development to new and existing representatives.Conduct risk assessments and recommend action plans to mitigate compliance risks.Report any concerns regarding AR firms to senior management.What We’re Looking For5+ years in a regulated financial services environment, ideally in a supervision or advisory role.Investments or mortgages backgroundCeMap Qualification neededFinancial Planning CertificateLevel 4 Diploma (desirable) - happy to work towards

Job Title: Compliance Firm & Adviser Supervisor Location: Remote working (20% site visits)Opportunity to work for a leading UK financial advice network, committed to delivering high-quality support to advisers and ensuring compliance with FCA regulations.You will support the supervision of Appointed Representative (AR) firms, ensuring compliance with company policies, FCA regulations, and high professional standards. The role involves regular travel and some visits to Head Office. Key ResponsibilitiesMonitor AR firms’ compliance with policies and FCA regulations.Assess risk and competence of individual representatives.Provide training and development to new and existing representatives.Conduct risk assessments and recommend action plans to mitigate compliance risks.Report any concerns regarding AR firms to senior management.What We’re Looking For5+ years in a regulated financial services environment, ideally in a supervision or advisory role.Investments or mortgages backgroundCeMap Qualification neededFinancial Planning CertificateLevel 4 Diploma (desirable) - happy to work towards

Job Title: Data Privacy Manager (EMEA) Location: London, UK Hybrid – 3 days in officeLooking for a Date Privacy Manager to support with the delivery of the privacy program, drive data gocernance compliance and implment privacy and governance practices. This role sits within the global privacy team covering EMEA.Responsibilities:Lead and manage data privacy and governance operations across EMEA.Serve as the regional privacy expert and point of contactEnsure compliance with regional and global privacy laws and standardsConduct and manage DPIAs, DSARs, data mapping, and incident responseDeliver privacy training and raise awareness across the regionOversee third-party vendor privacy assessmentsUse OneTrust to manage privacy operations and reportingCollaborate with senior leadership and global privacy teams Requirements:Strong knowledge of GDPR, UK GDPR, and other regional data protection lawsExperience managing privacy programs, ideally within financial servicesProficiency in privacy tools (e.g., OneTrust)Relevant qualifications (e.g., CIPP/E, CIPM or equivalent)Confidence working with senior stakeholders